Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
B/D News
By Melanie WaddellThe Securities and Exchange Commission recently approved new exchange rules for breaking stock trades that deviate so substantially from current market prices that they are...
November 01, 2009
Raymond James Hosts Women FAs; Shares Growth Story(Saint Petersburg, Fla.) Raymond James hosted its 15th annual Women's Symposium from September 30- October 2 with about 100 of its 640 female advisors...
November 01, 2009
Robert McCann Goes to UBS as Merrill Lynch Re-Launches BrandAfter several months of speculation and a legal dispute with his former employer, Bank of America-Merrill Lynch, Robert J. McCann is now CEO of...
November 01, 2009
B/D Briefing: Citi Brokers Switch to FeesIt hasn't taken long for Debbie McWhinney to make her mark at Citigroup. On October 5, Citi Personal Wealth Management announced that the brokers who...
October 27, 2009
10 ideas for improving your direct mail response rates - Part 1Direct mail campaigns can be an effective way to generate responses from clients and prospects. They can also be quite expensive.
October 27, 2009
Pick Your FrequencyClaims and counterclaims about the value of high-frequency trading filled the airwaves over the summer of 2009.
October 21, 2009
Five Questions for a Top Executive RecruiterA conversation on trends in advisor recruiting with Danny Sarch, president of Leitner Sarch Consultants.